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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
YORW icon
576
York Water
YORW
$514M
$72K 0.01%
1,575
– –
AWK icon
577
American Water Works
AWK
$26.9B
$70K 0.01%
572
-229
-29% -$27.8K
FE icon
578
FirstEnergy
FE
$27.5B
$70K 0.01%
1,443
– –
NI icon
579
NiSource
NI
$20.4B
$70K 0.01%
2,526
-5,009
-66% -$137K
WPC icon
580
W.P. Carey
WPC
$16.4B
$70K 0.01%
894
– –
BND icon
581
Vanguard Total Bond Market
BND
$161B
$69K 0.01%
823
-129
-14% -$10.8K
KWEB icon
582
KraneShares CSI China Internet ETF
KWEB
$5.67B
$69K 0.01%
1,429
– –
HR icon
583
Healthcare Realty
HR
$6.84B
$68K 0.01%
2,259
– –
NWL icon
584
Newell Brands
NWL
$2.56B
$68K 0.01%
3,549
– –
MIC
585
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$68K 0.01%
1,600
– –
MXIM
586
DELISTED
Maxim Integrated Products
MXIM
$68K 0.01%
1,112
– –
FCN icon
587
FTI Consulting
FCN
$4.18B
$67K 0.01%
611
– –
FPE icon
588
First Trust Preferred Securities and Income ETF
FPE
$6.36B
$67K 0.01%
3,350
– –
HYS icon
589
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.77B
$67K 0.01%
677
– –
MKC icon
590
McCormick & Company Non-Voting
MKC
$14.2B
$67K 0.01%
800
– –
MU icon
591
Micron Technology
MU
$991B
$67K 0.01%
1,250
– –
EIX icon
592
Edison International
EIX
$26.4B
$66K 0.01%
880
+34
+4% +$2.41K
WMB icon
593
Williams Companies
WMB
$86.1B
$66K 0.01%
2,807
+414
+17% +$9.48K
EDIV icon
594
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
$1.23B
$65K 0.01%
2,038
-33,839
-94% -$1.05M
FXH icon
595
First Trust Health Care AlphaDEX Fund
FXH
$1.11B
$65K 0.01%
777
+87
+13% +$6.89K
PFFD icon
596
Global X US Preferred ETF
PFFD
$2.16B
$65K 0.01%
2,621
+3
+0.1% +$75
SAP icon
597
SAP
SAP
$238B
$65K 0.01%
486
-5
-1% -$657
TAN icon
598
Invesco Solar ETF
TAN
$1.38B
$65K 0.01%
2,120
– –
KEQU icon
599
Kewaunee Scientific
KEQU
$106M
$64K 0.01%
4,800
– –
ICLR icon
600
Icon
ICLR
$12.7B
$63K 0.01%
370
– –
22 23
24
25 26

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6M
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RFA
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CCT
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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.